BLACKROCK FINANCIAL MANAGEMENT, INC of NEW YORK, NY is an SEC-registered investment adviser (CRD 107105). Regulatory assets under management: $1.6T.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 31 people.
| Name | Role | Location |
|---|---|---|
| Robert Lawrence Goldstein | CHIEF OPERATING OFFICER; DIRECTOR | New York, NY |
| Charles Choon Sik Park | CHIEF COMPLIANCE OFFICER | — |
| Laurence Douglas Fink | CHIEF EXECUTIVE OFFICER | — |
| Robert Steven Kapito | PRESIDENT | — |
| Christopher Joseph Meade | GENERAL COUNSEL AND CHIEF LEGAL OFFICER | — |
| Martin Small | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
| Robert Andrew Dickson | DIRECTOR | — |
| DICKSON ANDREW | DIRECTOR | — |
| OTTO CARSTEN | CHIEF COMPLIANCE OFFICER | — |
| PARK CHARLES CHOON SIK | CHIEF COMPLIANCE OFFICER | — |
| FINK LAURENCE DOUGLAS | CHAIRMAN; CHAIRMAN AND CHIEF EXECUTIVE OFFICER; CHAIRMAN & CHIEF EXECUTIVE OFFICER (+4 more) | — |
| SCHLOSSTEIN RALPH LEWIS | PRESIDENT AND DIRECTOR | — |
| BATTISTA BARTHOLOMEW ANGELO | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR; DIRECTOR, REGULATORY COMPLIANCE (+2 more) | — |
| KAPITO ROBERT STEVEN | DIRECTOR; PRESIDENT; PRESIDENT & DIRECTOR (+3 more) | — |
| CONNOLLY ROBERT PETER | GENERAL COUNSEL, SECRETARY; GENERAL COUNSEL, SECRETARY AND MANAGING DIRECTOR | — |
| GABBAY HENRY | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER, PORTFOLIO COMPLIANCE; MANAGING DIRECTOR, PORTFOLIO COMPLIANCE | — |
| AUDET PAUL L | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND MANAGING DIRECTOR; CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | — |
| BULLER STEVEN E | CHIEF FINANCIAL OFFICER | — |
| PETACH ANN MARIE | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | — |
| HALLAC CHARLES SHAUL | CHIEF ADMINISTRATIVE OFFICER & MANAGING DIRECTOR; CHIEF OPERATING OFFICER; CO-PRESIDENT (+1 more) | — |
| WALTCHER DANIEL R | ASSISTANT SECRETARY, DIRECTOR; DEPUTY GENERAL COUNSEL; DIRECTOR | — |
| KAPITO ROBERT S | PRESIDENT & MANAGING DIRECTOR | — |
| GOLDSTEIN ROBERT LAWRENCE | CHIEF OPERATING OFFICER; DIRECTOR | — |
| WAGNER SUSAN LYNNE | VICE CHARIMAN & CHIEF OPERATING OFFICER; VICE CHARIMAN & CO-CHIEF OPERATING OFFICER | — |
| SHEDLIN GARY STEPHEN | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
Showing 10 of 23 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-02-03 | civil | ON FEBRUARY 3, 2026, A PUTATIVE SECURITIES CLASS ACTION LAWSUIT WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AND CERTAIN OF ITS CURRENT AND FORMER EXECUTIVE OFFICERS AS DEFENDANTS. THE COMPLAINT PURPORTS TO BE BR… | Pending | — |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISION NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISIÓN NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2024-11-27 | civil | ON NOVEMBER 27, 2024, TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 10 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS, MISSOURI, MONTANA, NEBRASKA, WEST VIRGINIA, AND WYOMING) FILED A COMPLAINT AGAINST BLACKROCK, VANGUARD, AND STATE STREET (THE "MANAGERS") ALLEGING THAT THE MA… | Pending | — |
| 2024-08-22 | regulatory | ON AUGUST 22, 2024, THE INDIANA SECURITIES COMMISSIONER (THE "COMMISSIONER") ISSUED A CEASE AND DESIST ORDER (THE "ORDER") AGAINST BLACKROCK, INC. AND SEVERAL OF ITS ADVISORY AFFILIATES, (COLLECTIVELY, "BLACKROCK"). THE ORDER ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS ABOUT HOW WE MANAGE… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Final | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH OUR ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN FUND PROS… | Final | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH BLACKROCK'S ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN F… | Pending | — |
| 2023-06-06 | regulatory | FAILURE TO COMPLY WITH CERTAIN REGULATIONS APPLICABLE TO THE MANAGEMENT OF MUTUAL FUNDS AND THE PROVISION OF INVESTMENT ADVISORY SERVICES IN BLACKROCK'S MEXICO CITY OFFICE. | Final | $164K |